Paloma Partners’s Sprott Physical Gold PHYS Stock Holding History

Paloma Partners’s Portfolio PHYS Stock Details PHYS Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q1	–	Sell	-200,000	Closed	-$1.95M	–	1381
2014 Q4	$1.95M	Sell	200,000 -50,000	-20%	-$496K	0.08%	261
2014 Q3	$2.49M	Sell	250,000 -25,000	-9%	-$265K	0.11%	176
2014 Q2	$3.03M	Sell	275,000 -25,000	-8%	-$267K	0.12%	168
2014 Q1	$3.2M	Sell	300,000 -91,588	-23%	-$985K	0.21%	101
2013 Q4	$3.9M	Buy	391,588 +25,000	+7%	+$263K	0.2%	119
2013 Q3	$4.04M	Sell	366,588 -11,900	-3%	-$132K	0.16%	104
2013 Q2	$3.87M	Buy	+378,488	New	+$4.47M	0.22%	105

Other funds holding PHYS

PHS

Pekin Hardy Strauss Chicago, Illinois $1.14B AUM 37.36% 1-Year Est. Return

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

PAMP

Polar Asset Management Partners Toronto, Ontario, Canada $6.07B AUM 34.81% 1-Year Est. Return

Sprott Inc Toronto, Ontario, Canada $3.15B AUM 70.1% 1-Year Est. Return

Commonwealth Equity Services Waltham, Massachusetts $79.5B AUM 27.1% 1-Year Est. Return

LPL Financial San Diego, California $445B AUM 25.58% 1-Year Est. Return

Portola Group San Jose, California $75.6M AUM 15.13% 1-Year Est. Return

BCM

Bluefin Capital Management New York $399M AUM 24.96% 1-Year Est. Return

TAM

Tocqueville Asset Management New York $7.56B AUM 44.87% 1-Year Est. Return

CBB

Citizens Business Bank Ontario, California $664M AUM 33.78% 1-Year Est. Return

Paloma Partners's PHYS Position: Q1 2015 in Review

Paloma Partners sold out of Sprott Physical Gold (PHYS) in Q1 2015, closing a stake of 200,000 shares — an estimated $1.95M sold.

Paloma Partners first reported a position in PHYS in Q2 2013 and held it in 7 quarters. The position peaked at $4.04M in Q3 2013. 123 funds tracked by Wall St. Rank hold PHYS as of Q1 2015.

Paloma Partners reported no remaining Sprott Physical Gold position as of Q1 2015 after selling out during the quarter.
Paloma Partners sold 200,000 Sprott Physical Gold shares in Q1 2015, an estimated $1.95M.
Paloma Partners first reported a position in Sprott Physical Gold in Q2 2013 and held it in 7 quarters.
Paloma Partners's Sprott Physical Gold position peaked at $4.04M in Q3 2013.
123 funds tracked by Wall St. Rank held Sprott Physical Gold as of Q1 2015.

Based on Paloma Partners's 13F filing for Q1 2015, filed 15 May 2015.